Welton Cortez Smith Jr.
Investment Adviser Representative at Capital Investment Advisory Services, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Welton Cortez Smith Jr. is an investment adviser representative with Capital Investment Advisory Services, LLC in Mauldin, SC, where they have been registered since 2013. They have worked in the securities industry since 1987 and were previously registered with CIC Advisers, LLC. They have passed 9 industry qualification exams, including the Series 7 (general securities representative), Series 24 (general securities principal), and Series 63 (state securities agent). They are registered to provide investment advice in South Carolina.
Registrations & licenses
- Investment adviser:
- South Carolina
- Broker:
14 states and territories
Arizona, California, Colorado, District of Columbia, Georgia, Kentucky, Maryland, New York, North Carolina, Pennsylvania, South Carolina, Texas, Utah, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Capital Investment Group, Inc.Jan 2004 – no end date reportedEasley, NC
- Capital Investment Advisory Services, LLCSep 2009 – no end date reportedRaleigh, NC
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Capital Investment Advisory Services, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Estimated blended rate
- 0.02
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 103
- Offices listed on AdvisorFinder:
- 22
- Main office:
- Raleigh, NC
- SEC file number:
- 801-69846
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 12, 2026
View full firm profileOther advisors at Capital Investment Advisory Services, LLC
Showing 12 of 103 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Welton Cortez Smith Jr. has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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